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Results: 1-10 of 28

This week in securities litigation (week ending November 8, 2013)
  • Dorsey & Whitney LLP
  • USA
  • November 7 2013

SAC Capital agreed to plead guilty this week. Under the terms of the deal the firm will plead guilty to each count in the indictment, pay a total


Does the SEC need authority to impose larger fines?
  • Dorsey & Whitney LLP
  • USA
  • December 12 2011

Does the SEC need authority to impose larger civil penalties?


SEC settles with bank officer in market crisis case
  • Dorsey & Whitney LLP
  • USA
  • August 25 2013

The Court entered a final judgment by consent against a former bank officer in another Commission market crisis case, SEC v. Wu, Civil Action No


Part II: The new era of FCPA enforcement: expansive interpretations
  • Dorsey & Whitney LLP
  • USA
  • August 30 2011

One of the defining characteristics of the new era of enforcement is an aggressive application of the statutes


This week in securities litigation (Dec. 20 30, 2013)
  • Dorsey & Whitney LLP
  • USA
  • December 29 2013

The much discussed, and long debated, Volker Rule came to center stage as the year draws to a close. Following its enactment, the American Bankers


CFTC fiscal 2013: significant cases, increasing criminalization
  • Dorsey & Whitney LLP
  • USA
  • October 27 2013

The CFTC stepped up its enforcement activity in fiscal 2013, brining a number of significant actions, according to a recent report by the agency


DOJ files a significant market crisis case against S&P
  • Dorsey & Whitney LLP
  • USA
  • February 5 2013

The Department of Justice brought what is perhaps the most significant market crisis case to date, named as defendants rating agency Standard &


This week in securities litigation (week ending February 7, 2014)
  • Dorsey & Whitney LLP
  • Australia, Hong Kong, United Kingdom, USA
  • February 6 2014

Matthew Martoma was convicted of insider trading by a Manhattan jury. That jury found him guilty of one count of conspiracy and two counts of


SEC request for O&D bar denied
  • Dorsey & Whitney LLP
  • USA
  • August 20 2014

A frequently used remedy in Commission enforcement actions is the officer and director bar. A permanent bar has the very harsh effect of precluding


This week in securities litigation (week ending November 1, 2013)
  • Dorsey & Whitney LLP
  • USA
  • October 31 2013

SAC Capital is close to a plea agreement in the criminal case against the firm, according to press reports. JPMorgan, in contrast, is having